Broker Swindles Recently Widowed Woman at the Wake of Her Husband, According to Securities Regulators

Eduardo Guillermo Diaz was barred from the securities industry by the Financial Industry Regulatory Authority (“FINRA”) in connection with claims that he converted his client’s funds and borrowed money from the client. Diaz befriended his client before the death of the client’s husband, and at her husband’s wake, Diaz approached her and stated that she… Read more »